Professionals: Retirement » Directory

COMPLIANCE

Compli-Serve SA (Pty) Ltd

Compli–Serve (SA) (Pty) Ltd is a nationally represented independent provider of regulatory compliance management services and solutions to the financial services sector. We draw on international experience in developing services tailored for the domestic market. Our services are designed to meet the best practice compliance needs of today’s financial services professionals who operate in an ever more regulated environment.

We are authorised by the Financial Services Board “FSB” and currently work with various stakeholders in the financial services sector including independent financial advisors, call centres, auditors, international banks and investment /asset managers.

We recognize the need for the business to contain the costs of compliance whilst meeting the increasing challenges of regulatory compliance. We strive to keep our services focused without compromising the delivery our clients have come to expect.

The requirements of best practice compliance are perceived by many to increase the burden on already overloaded shoulders. Whilst it is true extra work will be required by all concerned we believe a pro active compliance culture can help smooth the process.

Whatever the size of your business we offer a range of efficient, cost effective services and solutions backed by a national network of experienced and professional staff.

Company Press Releases » Compli-Serve workshop for Financial Advisors & Compliance Officers 06 Sep 06 | Read More » COMPLI-SERVE EVENTS 2006 “security through knowledge” presents a workshop for Financial Advisors & Compliance Officers. Page by page review of 2006 FAIS REPORT and review of revised Fit and Proper Regulations. Topics discussed: All registered FSP's must complete ... Complaints Advice and Resolution Services - FAIS Act 2002 03 Aug 06 | Read More » Introduction It is expected that the Financial Advisory and Intermediary Services Act, of 2002 “FAIS” will result in an increased number of complaints from consumers. It is important that Key Individuals are advised as to the merits of a complaint as quickly ... What is the Compli-Serve Knowledge Service? 18 Jul 06 | Read More » The Knowledge Service is a South African Financial Services Compliance Portal, delivering regulatory information within the following KEY areas:CompliNEWS - Compli-Serve's exclusive client newsletterLatest Publications incl. media/information releases, warnings and alerts, ...